Eligible Training Programmes
Interested practitioners may apply for reimbursement of the fees of the eligible courses to be held for the period from 1 April 2023.
Only courses and seminars conducted in face-to-face mode, live webinars (pre-recorded seminars/webinars are not included), as well as certain designated e-courses are considered as eligible courses under the Financial Incentive Scheme of the WAM Pilot Programme.
For enrolment, detailed course schedule, course fees, and any other course related questions, please click the relevant hyperlinks or contact the course provider(s) directly.
The relevant programmes are listed below.
Hong Kong Securities and Investment Institute
Programme | Course | |||
Asset Management Fundamentals Programme | Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (10-hour foundation class) | |||
Module 2 - Financial Markets (10-hour foundation class) | ||||
Module 3 - Regulation of Asset Management (5-hour intensive class) | ||||
Module 4 - Asset Management (10-hour foundation class) | ||||
Enhanced Competency Framework: Certified Private Wealth Professional (CPWP) Programme: Module 1 – Technical, Industry and Product Knowledge | Topic 1 - Basic Products: Fixed Income Instruments, Equity Securities and Foreign Exchange | |||
Topic 2 - Derivatives and Structured Products | ||||
Topic 3 - Investment Funds and Alternative Investments | ||||
Topic 4 - Portfolio Management: Theories and Practices | ||||
Topic 5 - Lending and Leverage | ||||
Topic 6 - Wealth Planning | ||||
Topic 7 - Behavioural Finance | ||||
Topic 8 - Customer Relationship Management | ||||
Topic 9 - Overview of Private Wealth Management Industry | ||||
Topic 10 - Overview of Private Wealth Management Markets: Hong Kong, Mainland China and Asia-Pacific | ||||
| Duties and Liabilities of Responsible Officers | Duties and Liabilities of Responsible Officers | |||
| Overview of Legal and Regulatory Framework for Securities & Futures Industry | Overview of Legal and Regulatory Framework for Securities and Futures Industry | |||
| Managing Risks with Financial Derivatives | Managing Risks with Financial Derivatives | |||
| Algo Trading – Implementation and Risk Management | Algo Trading – Implementation and Risk Management | |||
| Regulatory Requirements when Selling Complex and Virtual-Assets Related Products | Regulatory Requirements when Selling Complex and Virtual-Assets Related Products | |||
| Updated Requirement on AML and Code of Conduct | Updated Requirement on AML and Code of Conduct | |||
| 防洗錢、最新監管要求及行為規範 | 防洗錢、最新監管要求及行為規範 | |||
| The Hedge Fund Masterclass | The Hedge Fund Masterclass | |||
| Sustainability Excellence for Talent Certification Programme (SET) | - Climate Risk Management in Practice - Introduction to GRI - ESG Data & Rating in Practice - Introduction to GHG Emissions | |||
Advanced Level Seminars | ||||
- Regulatory Requirements when Selling Complex and Virtual-Assets Related Products - Introduction to Hedge Fund - Hong Kong Family Offices: Market Initiatives and Tax Concessions - Strategic Outlook of China’s Asset Management Market 2023 - How Digital Assets can Co-Exist within Traditional Finance’s IT Architecture - Cryptocurrencies as Property: Reflections from a Landmark Hong Kong Court Case - Regulatory Developments in Anti-Money Laundering: Implications for Wealth Management Businesses - Essentials of Virtual Asset Compliance - Private Debt as a New Investment Class - The Intricacies of Serving Family Offices - Latest Enforcement Cases Relating to Suitability Requirement - Virtual Assets 360: What Asset Managers, Brokers, and Traders Need to Know to Succeed in Virtual Assets - The Essentials of Running a Family Office - Digital Assets for Portfolio Management - AML/CFT in the Cayman Islands Regime - Fulfilling Suitability Obligations - Portfolio Management: How Roboadvisors apply Modern Portfolio theory - Asset Management Industry: The Year 2023 and Beyond - Robo-Advisory: The Future of Investing - Crypto Assets / Cyber Fraud - Are Civil Injunctions Effective Remedies? - Latest Developments of the Guangdong-Hong Kong-Macao Greater Bay Area Cross-boundary Wealth Management Connect - Regulatory Insights: SFC Type 9 License for VA Fund Managers - From Dilemmas to Decisions – A Case Study Approach in Elevating Ethical Awareness in Private Wealth Management - How Tech can enhance ESG and Sustainable Investing - Private Debt: Exploring an Expanding Investment Class - Shaping the Virtual Asset Ecosystem: Compliance, Competence and the Road Ahead - Regulatory Sharing: Sustainable Development of Wealth Management Industry Amid New Product Innovations - Enhancement of Climate-related Disclosures Under the ESG Framework - FX Products in Private Wealth Management - Update on SFC’s Initiatives for HK’s Asset and Wealth Management Sector - Tokenisation in Hong Kong and InvestHK's Initiatives: Driving Innovation in the Fintech Sector | ||||
Enquiry: education@hksi.org
For more information, please visit the website: HKSI Course
The Hong Kong Institute of Bankers
Programme |
| Course |
Postgraduate Diploma in Credit Management/ Treasury Management/ Operations Management/ GBA and Cross-boundary Banking Management for Certified Banker(#) | 1 | Bank Asset and Liability Management |
2 | Treasury Markets and Operations | |
3 | Banking Law and Practice | |
4 | Operational Risk Management | |
5 | GBA Banking Compliance and Cross-boundary Wealth Management *
* Note: 1st Cohort (Course Period: 26 June 2024 – 3 August 2024) is not eligible under the Financial Incentive Scheme as the course was still under approval for eligible WAM course during the course period. | |
| 6 | Cross-boundary Banking Strategy and Management | |
| Enhanced Competency Framework (ECF) on Retail Wealth Management (RWM) | 1 | Regulatory Environment for Banking and Financial Planning |
2 | Investment Planning | |
3 | Essentials of Banking | |
4 | Insurance and Retirement Planning | |
5 | Investment and Asset Management – | |
6 | Investment and Asset Management – | |
7 | Financial Planning and Wealth Management | |
Enhanced Competency Framework (ECF) Programme | 1 | Advanced Certificate for ECF on Anti-Money Laundering and Counter-Financing of Terrorism (AML/CFT) |
Enhanced Competency Framework (ECF): Certified Private Wealth Professional (CPWP) Programme: Module 2 – Ethics and Compliance | 1 | Regulatory Regime in Hong Kong and Requirement on Sale of Investment Products |
2 | Relevant Laws and Regulations relating to Client Engagement and Relationship Building | |
3 | Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking | |
4 | Risk Management, Risk Governance and Risk Culture of Private Wealth Management Institutions |
# “Certified Banker” is revamped from"AHKIB" with effective from 1 January 2017.
Enquiry: (852) 2153 7865 OR programme@hkib.org
For more information, please visit the website: HKIB- Government Subsidies (WAM)
Hong Kong Securities and Investment Institute and The Hong Kong Institute of Bankers
| Programme | Modules |
Certified Private Wealth Professional (CPWP) Bridging Programme | Module 1 - Technical and Product Knowledge |
| Module 2 - Compliance and Ethics (Classroom/Webinar Lectures) - by HKIB | |
| Post-training Examination* - by HKSI Institute |
* Note: Participants must attend all the units of each Module 1 and Module 2 training course to sit for the examination. Participants who do not pass the post-training examination must retake and pass the re-examination within 1 month from the date of his/her first examination to qualify for the reimbursement.
Enquiry:
HKSI Institute: education@hksi.org
HKIB: (852) 2153 7865 or programme@hkib.org
For more information, please visit the website.
AIIFL/HKU, CLLC and PWMA
| Programme | Modules | |
| Certificate in Compliance & Risk Management for Private Wealth Management Professionals (2019) | 1 | Financial Laws and Regulations for Private Banking and Wealth Management |
| 2 | Risk Management for Private Banking and Wealth Management | |
| 3 | Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers | |
| 4 | Securities Law Compliance for Senior Management | |
| 5 | Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers | |
| 6 | Essentials for Private Banking and Wealth Management Compliance Managers |
Enquiry: Ms Flora Leung at (852) 3917 2941 or fkleung@hku.hk
HKU School of Professional and Continuing Education
| Programme | Modules |
Certificate for Module (Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism Professional Level)* | - |
Executive Certificate in Family Office Management and Wealth Inheritance | - |
Executive Certificate in Applied Financial Risk Management | - |
Executive Certificate in FinTech | - |
Executive Certificate in RegTech | - |
Executive Certificate in Fund Administration and Regulatory Compliance | - |
*Effective from July 2018 Intake
Enquiry: 2867 8392 or amy.fung@hkuspace.hku.hk
For more information, please visit the website: HKUSPACE Programmes
Hong Kong Trustees' Association and Hong Kong Securities and Investment Institute
| Programme | Modules |
Trust Training Certificate (TTC) (version 2.0) | Unit 1 - Introduction to Trusts |
| Unit 2 - Types of Trusts and When Appropriate | |
| Unit 3 - Other Estate Planning Vehicles | |
| Unit 4 - Trusts Compared with Other Estate Structuring Vehicles | |
| Unit 5 - Trustees and Compliance | |
| Unit 6 - Trusts and Compliance | |
| Unit 7 - Trusts Jurisdiction Comparison | |
| Unit 8 - Other Trust Vehicles in Details | |
Unit 9 - The Contents of Trusts and Drafting | |
Unit 10 - Testamentary Issues & Avoiding Testamentary Disputes | |
Unit 11 - International Taxation | |
Unit 13 - Family Office | |
Unit 17 - Trusts and Issues for PRC Nationals | |
Unit 18 - Trusts for Security Arrangements, Commercial and Employee Benefit Needs | |
Unit 19 - Collective Investment Schemes – Part 1 Private Arrangements | |
Unit 20 - Collective Investment Schemes – Part 2 Public Offering Arrangements | |
Unit 21 - Hong Kong Mandatory Retirement Schemes Trusts - MPF | |
Unit 22 - Hong Kong Private Retirement Schemes Trusts - ORSO |
Enquiry: education@hksi.org
Hong Kong Trustees' Association
| Programme | Modules |
| Advanced Level Seminar | 2023 HKTA Conference "TRUST Hong Kong" |
Enquiry: queries@hktrustees.com or 3511 6030
The Institute of Financial Planners of Hong Kong
| Programme | Modules |
| The Associate Estate Planning Practitioner (“AEPP’) Education Program | Module 6 – Dynamic Solutions of Wealth Planning |
| Succession Planning Through Trust Structures: A Case Study Approach | - |
Qualified Retirement Adviser (QRA) Education Program | Ordinary Track - Topics 1 to 7 |
| Exemption Track - Topics 4 to 7 |
Enquiry: qra@ifphk.org or 2982 7888
For more information, please visit the website: IFPHK
HKPC Academy
| Programme | Modules |
Certificate in Innovative Family Office Management and Wealth Inheritance | - |
Enquiry: Ms Jenny Fung at (852) 2789 5145 or jennyfung@hkpc.org
For more information, please visit the website: HKPC Academy Training Programme
HSU & IARFC
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| Programme | Modules |
Executive Certificate in Contemporary Financial Planning Programme | - |
Enquiry: (HSU) sbus@hsu.edu.hk or 3963 5098
(IARFC) info@iarfc-hk.org /admin@iarfc-hk.org or 2368 5768 / 3152 2314 / 6599 0078 (Whatsapp)
For more information, please visit the website: Programme Information
